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Jacob Louis Rosalez

Jacob L. Rosalez

AVANTAX PLANNING PARTNERS | President, Avantax Planning Partners
Peosta, IA
Some features on this profile are disabled
CRD#: 6973323
Jacob Louis Rosalez

Professional summary

Jacob Louis Rosalez, who also goes by Jake Rosalez, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Peosta, Iowa and CETERA INVESTMENT ADVISERS LLC located in Dubuque, Iowa.

Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Jacob has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jake Rosalez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) AVANTAX PLANNING PARTNERS INC; Investment Related; 3390 Asbury Road, Dubuque, IA 52002; Financial Services; Associate Financial Representative; Start Date 04/2020; 160 hours per month with most hours per month occurring during trading hours; Assist investment representative(s) with their clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Louis Rosalez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 2, 2020 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #2: 3390 Asbury Road, Dubuque, IA 52002-2801Office #3: 6200 Aurora Avenue #600w, Urbandale, IA 50322
RIA
CRD#: 106237
Peosta, IA
Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3390 Asbury Road, Dubuque, IA 52002Office #3: 6200 Aurora Avenue #600w, Urbandale, IA 50322
RIA
CRD#: 105644
DUBUQUE, IA
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3390 Asbury Road, Dubuque, IA 52002
BD
CRD#: 13572
DUBUQUE, IA
Past

April 4, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Dubuque, IA
Past

September 30, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DUBUQUE, IA
Past

June 30, 2020 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
DUBUQUE, IA
Past

August 12, 2019 - January 15, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WATERLOO, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Iowa
(6/2/2020)
RR
Iowa
(9/5/2025)
RR
Nebraska
(9/5/2025)
IAR
Texas
(8/9/2025)
RR
Texas
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/23/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CETERA INVESTMENT ADVISERS LLC

President, Avantax Planning PartnersCRD#: 105644Peosta, IA

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